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Detailed Report
DAN J RUDGE
DANIEL JAMES RUDGE
CRD#: 5305571
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 28 State Street 26Th Floor
Boston, MA 02109
Registration History
2008201020122014201620182020202220242026IAMORGAN STANLEY (CRD# 149777)2010 - Present (15 years)BMORGAN STANLEY (CRD# 149777)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2008 - 2009 (1 year)
License(s)

State Registrations

B
Alabama 11/27/2013
B
New Jersey 11/4/2009
B
Arizona 11/4/2009
B
New Mexico 5/2/2013
B
California 11/4/2009
B
New York 11/4/2009
B
Colorado 11/4/2009
B
North Carolina 11/4/2009
B
Connecticut 11/4/2009
B
Ohio 10/3/2012
B
Delaware 4/27/2016
B
Oregon 3/20/2019
B
District of Columbia 11/4/2009
B
Pennsylvania 11/4/2009
B
Florida 11/4/2009
B
Rhode Island 11/4/2009
B
Georgia 11/4/2009
IA
Rhode Island 2/23/2010
B
Illinois 5/2/2013
B
South Carolina 11/4/2009
B
Indiana 10/17/2011
B
Tennessee 5/14/2021
B
Louisiana 6/21/2019
B
Texas 11/27/2013
B
Maine 11/4/2009
IA
Texas 2/11/2014
B
Maryland 11/4/2009
B
Utah 5/2/2013
B
Massachusetts 6/1/2009
B
Vermont 11/4/2009
B
Michigan 2/27/2013
B
Virginia 5/27/2015
B
Minnesota 1/10/2020
B
Washington 5/2/2013
B
Missouri 11/27/2013
B
West Virginia 6/10/2024
B
Nevada 10/6/2015
B
Wisconsin 1/22/2019
B
New Hampshire 11/4/2009

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
28 State Street 26Th Floor, Boston, MA 02109
Registered with this firm since 2/23/2010
B
MORGAN STANLEY (CRD#:149777)
28 State Street 26Th Floor, Boston, MA 02109
Registered with this firm since 6/1/2009
Previous Registration(s)
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B
 05/19/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.